News & Notices | National Futures Association

FCM Notices to Members

View NFA Notices to Members—messages or reminders regarding compliance updates, NFA events, and other important news.

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December 30, 2014
I-14-38: NFA's Chairman and Executive Committee respond to recent allegations of improprieties regarding the 2014 public director nominations

December 18, 2014
I-14-37: Reporting requirements for Christmas and New Year's Day: Reminder for 2015 holidays

December 03, 2014
I-14-34: Guidance on the annual affirmation requirement for those entities that are currently operating under an exemption or exclusion from CPO or CTA registration

December 01, 2014
I-14-33: Effective Date of Interpretive Notice to NFA Compliance Rules 2-4 and 2-36: Prohibition on the Use of Certain Electronic Funding Mechanisms

December 01, 2014
I-14-32: Request for Public Director Nominations for NFA's Board of Directors

November 19, 2014
I-14-31: FINRA announces increase in examination fees for 2015

November 19, 2014
I-14-30: FinCEN issues an advisory on the FATF-identified jurisdictions with AML/CFT deficiencies

November 04, 2014
I-14-29: NFA announces nominations made by the 2014 Nominating Committee

November 03, 2014
I-14-28: NFA's BASIC System — Changes to Public Display of FCM Financial Information

September 26, 2014
I-14-23: Board and Nominating Committee Members Whose Terms Will Expire at the Board's 2015 Regular Annual Meeting

September 17, 2014
I-14-22: FCM Filing Requirements — Risk Exposure Reports and CCO Annual Report

September 17, 2014
I-14-21: Reminder — NFA assessment fee reduction will become effective on October 1, 2014

August 18, 2014
I-14-19: FinCEN issues an advisory on the FATF-identified jurisdictions with AML/CFT deficiencies and an advisory on promoting a culture of BSA/AML compliance

July 07, 2014
I-14-18: NFA assessment fee reduction will become effective on October 1, 2014

June 25, 2014
I-14-16: Diminutive notional value contracts

June 05, 2014
I-14-13: Important Notice to CPOs and CTAs regarding changes to the CPO Form PQR and CTA Form PR that will become effective for the period ending June 30, 2014.

May 28, 2014
I-14-12: NFA Board of Directors approves reduction in assessment fees

May 19, 2014
I-14-11: Late Disclosure Filing Fee

April 11, 2014
I-14-10: Information Regarding the "Heartbleed" Security Issue

April 02, 2014
I-14-09: FinCEN Issues an Advisory on the FATF-Identified Jurisdictions with AML/CFT Deficiencies

February 27, 2014
I-14-08: Proposed Amendments to NFA's Articles of Incorporation for Changes to the Structure of NFA's Board of Directors and Executive Committee

January 30, 2014
I-14-05: Responses to Request for Comments on CPO/CTA Capital Requirement and Customer Protection Measures not Limited to CPO/CTA Members

January 27, 2014
I-14-04: CFTC Requests NFA Members to Provide NFA with Certain Information on Suspicious Activity Report Filings Upon NFA's Request

January 23, 2014
I-14-03: Request for Comments - CPO/CTA Capital Requirement and Customer Protection Measures-Comments Due by April 15, 2014

January 14, 2014
I-14-02: Notice of Annual Meeting

January 06, 2014
I-14-01: Additional Reporting Requirements for FCMs for which NFA is DSRO

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